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U.S. Securities and Exchange Commission

CCOutreach Interactive Broadcast Seminar: Valuation

October 7, 2010
12:30pm - 3:30pm Eastern

Staff of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations and Division of Investment Management is pleased to announce a CCOutreach Interactive Broadcast Seminar, a webcast event being held on October 7, 2010 for investment adviser and investment company chief compliance officers (CCOs).

The CCOutreach Interactive Broadcast Seminar will include a panel discussion by SEC examination staff on valuation issues. Rule 206(4)-7 of the Investment Advisers Act of 1940 requires SEC registered advisers to adopt and implement written compliance policies and procedures. While the Rule permits an adviser flexibility in the design of procedures that fit its needs, policies and procedures should address, among other things, the processes utilized to value client holdings and assess fees based on such valuations. During this CCOutreach seminar, SEC examination staff will discuss valuation issues, including common deficiencies and the Chief Compliance Officer's role in the valuation process.

The CCOutreach Interactive Broadcast Seminar will be held from 12:30 p.m. to 3:30 p.m. Eastern on October 7. This Seminar will be simulcast over the Internet through the SEC's website. In addition, the Seminar will also be accessible in person at the Commission's headquarters at 100 F Street, N.E., Washington, D.C. 20549. In-person attendance is limited to 500, with investment adviser and investment company CCOs given priority on a first-come, first-served basis. There is no charge to view the webcast or to attend this seminar in person.

Topics to be discussed

  • Difficult to value securities
  • Valuation challenges in volatile markets
  • Bond fund valuation
  • The Chief Compliance Officer's role in the valuation process
  • Common deficiencies and weaknesses noted in the area of valuation



Modified: 09/21/2010